Category Archives: Operational Risk

Trade Matching in the Traditional and Alternative Markets

Pressures from investors and regulators are accelerating the pace of convergence in traditional and alternative asset management organizations and improving standards of practice. At present, in the traditional asset management arena, managers’ and brokers’ records are generally compared on a trade-by-trade basis and custodians are authorized by the managers to settle matched transactions. In theContinue reading “Trade Matching in the Traditional and Alternative Markets”

Managing the Increased Risks Associated with Outsourcing

Stone House Consulting provides 15 practical suggestions for managing the increased risks that may be introduced by outsourcing.  This slideshow was presented on Wednesday, 2 March 2011 at the 5th Annual OpRisk Conference in New York by Holly Miller, founding partner of Stone House Consulting.

Corporate Governance and Operational Risk

In her opening remarks as chair of the 5th Annual OpRisk Conference in NYC today, Stone House Consulting founding partner, Holly Miller, discusses the link between corporate governance and operational risk.  

Investors’ IT Savvy, STP and the Cloud

In advance of chairing tomorrow’s 5th Annual OpRisk Conference in New York, Stone House Consulting’s founding partner, Holly Miller, is interviewed by Eugene Grygo of FTF News in a two-part series.  Read what she has to say in this first conversation about the role IT plays during investor due diligence, hidden risks in straight-through processingContinue reading “Investors’ IT Savvy, STP and the Cloud”

Stone House Consulting Releases its First Book–THE TOP TEN OPERATIONAL RISKS: A SURVIVAL GUIDE FOR INVESTMENT MANAGEMENT FIRMS AND HEDGE FUNDS

Press Contacts: Deborah Eisenberg / Matthew Chisum Cognito +1.415.946.8820 stonehouse@cognitomedia.com Advanced Praise Offered by Leading Industry Executives including Bruce J. Feibel, CFA, Managing Director, BNY Mellon and Bill Bogle, Partner and Chief Compliance Officer, NEPC LLC Available Now in Paperback and Electronically via Amazon Kindle Thornton, Penn. – December 13, 2010 – Stone House Consulting, LLC,Continue reading “Stone House Consulting Releases its First Book–THE TOP TEN OPERATIONAL RISKS: A SURVIVAL GUIDE FOR INVESTMENT MANAGEMENT FIRMS AND HEDGE FUNDS”

Operational Risk #10: Reading the Fine Print—Know Thy Legal Entities

We’re sorry—the article you are looking for is no longer available on our website.  However, it is included in our book, The Top Ten Operational Risks: A Survival Guide for Investment Management Firms and Hedge Funds.  Purchase your paperback copy or Kindle version!

Survey on Operational Risk, Investor Communication and Requirements

Investors’ demands for transparency and concerns about operational risk have risen over the last several years.  Is the post-meltdown focus on due diligence in selecting managers and greater demand for specific information a lasting change or just a temporary phenomenon? Stone House Consulting, in conjunction with Infonic AG (the makers of HedgeSphere), is conducting aContinue reading “Survey on Operational Risk, Investor Communication and Requirements”

Mitigating Lottery Risk

Guarding against the loss of key staff is imperative, says Philip Lawton, and here he offers sound advice on how to mitigate the potential disaster with proper processes and procedures. Download the article This article first appeared in Performance Measurement and Client Reporting Review, Vol. 3.1, Autumn 2010. It is reprinted with the kind permission of Osney Media.

Operational Risk #9: Poor Planning and Slow Response Times—Changes in the Firm, the Marketplace and the Regulatory Environment

We’re sorry—the article you are looking for is no longer available on our website.  However, it is included in our book, The Top Ten Operational Risks: A Survival Guide for Investment Management Firms and Hedge Funds.  Purchase your paperback copy or Kindle version!